David Smith Email and Phone Number
David Smith work email
- Valid
David Smith personal email
Proven Executive leader adept at building high-performance Compliance teams by developing and motivating skilled professionals. Proactive to developments in the Regulatory Governance environment and implementing an effective Risk Management strategy. Highly skilled at identifying gaps and/or Risk Exposure in Operations as well as developing and implementing strong policies and procedures designed to achieve Enterprise Compliance. 20 years Compliance experience with Broker-Dealers and Registered Investment Advisors & Life and Annuity Insurance overseeing daily Compliance functions pertaining to the Firm/SEC/FINRA/State regulations and standards. Expert knowledge of the Investment Advisors Act of 1940, Investment Company Act of 1940, SEC/FINRA Guidelines, FINRA Advertising Standards, State Insurance & Securities Regulations, Municipal Securities, and Financial Crimes responsibilities. FINRA Series 4, 7, 24, 53, 63 & 65.
Linden Thomas & Company
View- Website:
- lindenthomas.com
- Employees:
- 25
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Operations ManagerLinden Thomas & CompanyCharlotte, Nc, Us
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Chief Compliance OfficerCapstone Financial 2022 - PresentAtlanta, Georgia, United States
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Chief Risk OfficerBroker Dealer / Ria 2021 - 2022Atlanta Metropolitan Area
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Vice President, Bsa/Aml Compliance OfficerFortune 500 Finanical Services 2018 - 2020Columbus, Ohio Area
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Vice President, Bsa/Aml Compliance OfficerFortune 500 Financial Services Corporation 2015 - 2018Charlotte, Nc
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Compliance ConsultantWells Fargo Funds Distributors 2013 - 2015Charlotte, Nc -
Chief Compliance OfficerBroker Dealer & Registered Investment Adviser 2012 - 2013Greater Chicago Area
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Chief Compliance OfficerBroker Dealer & Investment Advisor 2008 - 2011Greater Denver Area
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Director Of ComplianceJackson National Life Distributors 2003 - 2008Greater Denver Area
David Smith Skills
David Smith Education Details
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Bachelor Of Arts (B.A.)
Frequently Asked Questions about David Smith
What company does David Smith work for?
David Smith works for Linden Thomas & Company
What is David Smith's role at the current company?
David Smith's current role is Operations Manager.
What is David Smith's email address?
David Smith's email address is sm****@****spy.net
What schools did David Smith attend?
David Smith attended University Of Oklahoma.
What skills is David Smith known for?
David Smith has skills like Securities, Finra, Financial Services, Investments, Insurance, Series 7, Series 24, Mutual Funds, Fixed Annuities, Series 63, Investment Advisory, Alternative Investments.
Who are David Smith's colleagues?
David Smith's colleagues are Daniel Segal, Cfa, Grant Giesler, Linden Thomas, Alyssa Burtis, Lauren Robinson, Indexperts Advisors, Vincent Lograsso.
Not the David Smith you were looking for?
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David Smith
Mba Candidate At Yale School Of Management | Driving Human And Organizational PotentialNew Haven, Ct2teachforamerica.org, myfuturenc.org -
David Smith
Fairfax County, Va1guidehouse.se -
David Smith
United States1vasostitch.com1 +133127XXXXX
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David Sym-Smith
Dallas, Tx4aol.com, mobilityventures.com, mv-1.us, indotraq.com3 +185744XXXXX
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David Smith
United States4spideroak.com, veriato.com, yahoo.com, nubix.io
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